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James O'Reilly
JAMES GUERIN O'REILLY, JIM O'REILLY, JAMES GUERIN OREILLY
CRD#: 5614137
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1500 W MARKET ST
MEQUON, WI 53092
Registration History
20082010201220142016201820202022202420262 FIRMS2011 - Present (13 years)BBROKERBANK SECURITIES, INC. (CRD# 130116)2010 - 2010 (<1 year)BMANCHESTER FINANCIAL GROUP, LLC (CRD# 103862)2008 - 2009 (<1 year)
License(s)

State Registrations

B
Arizona 6/30/2011

B
Minnesota 1/31/2011

IA
California 3/7/2011

B
Pennsylvania 5/7/2020

B
California 9/29/2021

IA
Texas 8/21/2013

B
Colorado 10/20/2021

B
Texas 11/27/2018

B
Florida 11/15/2013

B
Wisconsin 6/30/2011

IA
Florida 1/11/2021

IA
Wisconsin 7/10/2012

B
Illinois 2/27/2020

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1500 W MARKET ST, MEQUON, WI 53092
Naples, FL
Registered with this firm since 3/7/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1500 W MARKET ST, MEQUON, WI 53092
Naples, FL
Registered with this firm since 1/31/2011

Previous Registration(s)
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B
01/04/2010 - 03/11/2010 BROKERBANK SECURITIES, INC. (CRD#:130116)
FINRA expelled the firm on 08/18/2023
MINNETONKA, MN
B
12/03/2008 - 05/05/2009 MANCHESTER FINANCIAL GROUP, LLC (CRD#:103862) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.